Harbor Funds | Career Opportunities

Career Opportunities

Working at Harbor

Current Opportunities

Investor Services Representative
Legal Specialist / Senior Paralegal
Account Executive
Programmer

Contacting Human Resources

Harbor Capital Advisors, Inc.
Attn: Human Resource Team
111 South Wacker Drive, 34th Floor
Chicago, IL 60606
Phone: 312-443-4400
Fax: 312-443-4135
E-mail:

Legal Specialist / Senior Paralegal

The Legal Specialist/Senior Paralegal position is primarily responsible for Harbor Funds' and Harbor Capital's SEC regulatory filings; oversight and administration of subadviser and other compliance matters; providing back-up support on financial intermediary and vendor contracts; providing assistance and back-up support for Harbor Funds' and Harbor Capital's board and committee governance process and associated corporate legal and regulatory matters; performing legal research; managing hard copy and electronic records pursuant to applicable requirements; and participating and/or leading various projects, as assigned. This position is based in Chicago.


Key Responsibilities

  • Member of a team responsible for preparation of Harbor Funds' SEC regulatory filings, such as initial filings and annual updates to the registration statement on Form N-1A, registration statement supplements, annual and semiannual reports, Forms N-SAR, N-CSR, N-Q, N-MFP, 24f-2 and N-PX
  • Member of a team responsible for preparation of Harbor Capital's regulatory filings, such as Forms ADV and PF with SEC and Commodity Pool Operator filings with CFTC
  • Provide back-up support for preparation of Harbor Funds Distributors regulatory filings with SEC and FINRA, such as Forms BD and BR
  • Filing responsibilities include:
    • Reviewing and/or preparing filing-specific timelines and responsibility matrices and general legal and compliance calendars;
    • Reviewing drafts in light of various rules and regulations and providing comments;
    • Drafting substantive disclosure; and
    • Resolving comments from internal and external parties and regulators
  • Draft and/or review desktop procedures for the above filings and oversee on-going maintenance
  • Assist in managing all aspects of new fund launches, the addition of new subadvisers and fund closings

Compliance

  • Perform various subadviser compliance monitoring responsibilities, including preparation and review of monthly subadviser questionnaires and other information requests
  • Assist in the administration of the Harbor Capital Code of Ethics
  • Assist in oversight and monitoring of Harbor Funds website
  • Provide support for review of Sales and Marketing advertising materials
  • Review Harbor Funds and Harbor Capital policies and procedures and assist with maintenance, periodic updates and drafting of new policies and procedures

Legal Research/Industry Monitoring

  • Understand the business and operations of Harbor Funds, Harbor Capital and its subsidiaries
  • Conduct legal research regarding various issues under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934, as well as FINRA and CFTC rules and regulations, state Blue Sky laws and other related securities and corporate law
  • Analyze rules and regulations relative to the appropriate Harbor entity and present findings to management, both orally and in writing
  • Investigate and resolve shareholder and employee questions
  • Review industry publications, attend conferences and remain apprised of FINRA and SEC rules and regulations and other related securities and corporate law

Board Governance and Corporate

  • Provide back-up support for all aspects of Harbor Funds and Harbor Capital board and committee administration, including drafting and revision of agendas, meeting notices, resolutions, written consents and minutes templates, and supervision of the assembly and dissemination of such materials; and preparation and maintenance of board and compliance calendars and checklists
  • Provide back-up support for preparation, execution and maintenance of powers of attorney, non-disclosure agreements, authorized signatories, incumbency certificates, investment advisory, subadvisory, service provider and other agreements and related amendments/schedules
  • Assist with oversight of Harbor Funds' service providers
  • Manage the process surrounding Harbor Capital's requirements to qualify to do business with the various states, including researching the availability of exemptions from the requirement to register, and preparing and filing initial and annual notices with the various states, as appropriate

Contracts

  • Support the contracting process for financial intermediaries and other vendors, including maintenance of the contracts database; drafting, reviewing, negotiating and revising contracts and amendments; facilitating timely review of contracts by various departments within Harbor Capital; and answering questions regarding specific contracts
  • Administer, and assist in the enhancement of, the intermediary due diligence process

Records Retention and Maintenance

  • Understand securities laws related to records retention and follow departmental procedures related to the maintenance of hardcopy and electronic records
  • Assist in the maintenance of required records in electronic format, including acting as source of expertise regarding records retention and the electronic document management system and perform records audits
  • Assist with document requests, including regulatory examination requests
  • Participate on a project team to enhance records retention procedures

Team and Cross-Team Projects

  • Participate and/or lead intra-departmental and cross-company projects
  • Train and/or provide day-to-day supervision of junior team members

 

Minimum Qualifications

  • Bachelor's Degree or equivalent
  • Five or more years of experience as a securities regulation or 1940 Act mutual fund paralegal or compliance administrator/analyst (or similar position) in a law firm or financial services firm (or combination of firms)
  • Committed to maintaining the highest ethical standards

 

Knowledge, Skills & Abilities Required

The ideal candidate will be an intelligent, energetic and goal-oriented conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment and will possess the following attributes:

  • Independent self-starter with a can-do attitude and the ability to follow through and complete tasks in a team environment
  • Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy
  • Responsible for coordinating complex projects with multiple internal and external parties; therefore, candidate must demonstrate a cooperative attitude and exceptional interpersonal and consensus building skills
  • Ability to establish productive working relationships with team members, other Harbor Capital teams, external counsel, service providers, Trustees and regulators
  • Responsible for managing diverse and complex projects according to timelines that the candidate will create and monitor; therefore strong project and time management skills are a must
  • Excellent oral and written communication skills are required
  • Advanced proficiency with Microsoft Office Suite and skilled generally with learning and administering technological applications
  • An understanding of the mutual fund industry and the laws that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934, as well as FINRA and CFTC rules and regulations and state Blue Sky laws, is desired
  • Experience with SEC regulatory filings is required


Harbor Capital Advisors, Inc. is an equal opportunity employer committed to a diverse workforce. M/F/D/V


Working at Harbor Capital Advisors

What is working at Harbor Capital Advisors all about?  What can we offer that makes us a unique employer in the investment management industry? What type of career opportunities exist?

  • Working at Harbor means we expect you to put 100% of your effort toward supporting our shareholders. We believe the best interests of our shareholders always come first.
  • A career at Harbor means that you have the opportunity for broad exposure to multiple aspects of our business. Your access to both senior managers and colleagues across the company can provide rewarding work assignments and learning opportunities.
  • We offer the best advantages and efficiencies of a smaller company while providing the resources of a larger one. At Harbor, if you can identify ways to improve the business, you'll often be given the opportunity and resources to implement them.
  • Central to Harbor's past and future successes is integrity – our most important principle.
  • We hire talented people with an excellent work ethic; we pay fairly and we reward achievement.

Whether you are beginning your career in the investment management industry or are looking to continue your development and reach new goals, you should strongly consider the opportunities at Harbor.

We offer the following comprehensive benefits and programs:

  • A competitive compensation program that recognizes individual performance and contributions
  • Comprehensive medical (PPO and HMO) and dental options effective on date of hire
  • Short-Term and Long-Term Disability insurance coverage
  • 401(k) Plan with dollar-for-dollar match up to 4% of base salary; we will also contribute 50 cents for each dollar contributed between 4% and 6% of eligible pay. If you contribute at least 6% of pay, we will make a matching contribution equal to 5% of eligible earnings. You are always fully vested in 401(k) contributions
  • Retirement contributions of 5% of eligible pay after completion of 12 months of service, retroactive to your first day of employment
  • Medical and Dependent Care Flexible Spending Accounts
  • Group Life insurance in an amount equal to twice your annual base salary up to maximum of $500,000; In addition, Optional Life and AD&D insurance are available for purchase
  • Paid vacation days
  • Nine or ten paid holidays, annually
  • Three personal days, annually
  • Commuter Benefits Program for flex transit and parking
  • Employee Assistance Program
  • Educational Expense Reimbursement Program
  • Easy access to public transportation
  • Building amenities include parking garage with available car wash services, on-site restaurant, health club facilities and complimentary concierge and bike storage

We think you will find our central loop location convenient, offering an easy walk to public transportation. Our building is the first certified LEED all-business structure to be built in Chicago.